Compliance Manager - Advisory - Investment Management

Michael Page Banking; London; On-site; GBP 75,000 - 87,000; Full time

Job summary

A mid-sized investment management firm in London is seeking a Compliance Manager to strengthen compliance processes and ensure adherence to regulatory frameworks. The role includes providing guidance on FCA rules, managing regulatory initiatives, and training staff. The ideal candidate will have significant experience in the financial services sector and a strong ability to interpret complex regulations. This position offers a salary of approximately £75,000, depending on experience, and provides opportunities for career advancement.

Qualifications

• Proven experience in managing compliance within the financial services sector.
• Strong understanding of FCA's rules and regulations.

Responsibilities

• Oversee compliance processes in the financial services industry.
• Provide technical guidance on FCA's rules and regulatory issues.
• Conduct impact assessments and gap analyses for FCA initiatives.
• Lead regulatory and business change projects.

Skills

Ability to interpret complex regulations

Experience in regulatory change implementation

Job description

The Compliance Manager will oversee and strengthen compliance processes within the financial services industry, ensuring adherence to regulatory frameworks.

Client Details

Mid-sized investment management firm.

Description

• To provide a proactive and technical service to the business on the interpretation and guidance of the FCA's rules (and any other relevant regulatory or legal issues that may apply);
• To provide impact assessment and gap analysis for any new FCA initiatives;
• Contribute to and take the lead in regulatory change and business change projects as required;
• 'Local' Consumer Duty and Product Governance Champion/SME for Compliance and Compliance lead for Vulnerable Customers;
• Compliance lead for SMCR and TC;
• Maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure the embedding of said policies;
• Coordinate and deliver Compliance training, including induction training.

Profile

A successful Compliance Manager should have:

• Ability to interpret complex regulations and relay them practically to the business.
• Experience in interpretation and implementation of regulatory change within a business environment.

Job Offer

• Circa £75,000 equivalent salary, dependant on experience.
• Opportunity to work within a structured and professional environment in London.
• Chance to advance your career in the financial services industry.

If you are an experienced Compliance Manager looking to make an impact, we encourage you to apply for this exciting opportunity in London.